following conditions: (1) the licensee shall commence operation of derivatives business in the category specified in the license only after the SEC Office having completed its inspection, is of the view that

written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of

Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I

securities analysts to participatein fintech development/application processes;(4)      Have control and inspection system for algorithm;(5)      Have data management and governance;(6)      Disclose scope

.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that

Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai

trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as

Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16

Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 65 2 KPMG KPMG AQIs 2 KPMG KPMG 2 KPMG KPMG KPMG KPMG KPMG KPMG KPMG KPMG 108 31 2564 5.60

) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 85 2 EY data analytic tools EY EY EY EY EY EY EY EY EY 211 30 2564 6.41 35 EY 3 3 1 (Leadership